Nicholas W. Bertell

REDWOOD COAST FINANCIAL PARTNERS

Eureka, CA 95501

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CRD#: 5386765

Professional summary

Nicholas Wesley Bertell, AIF®, ChFC® is a registered financial advisor currently at REDWOOD COAST FINANCIAL PARTNERS located in Eureka, California.

Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Nicholas has worked at 5 firms and has passed the Series 66, SIE, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) HUMBOLDT MASONIC LODGE; NOT INVESTMENT RELATED; PO BOX 197 EUREKA, CA 95501; FRATERNAL; MEMEBER; 08/24/2006; APPX 8 HOURS/MONTH; APPX 0 HOURS/MONTH DURING TRADING; ORGANIZATION AND LEADER OF RITUAL WORK. PLANNING OF SOCIAL EVENTS FOR FELLOWSHIP. VOLUNTEER COMMUNITY WORK.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Wesley Bertell's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

AIF^®

Accredited Investment Fiduciary

ChFC^®

Chartered Financial Consultant

Experience

Current

August 6, 2015 - Present

REDWOOD COAST FINANCIAL PARTNERS

Office #1: 923 3rd Street, Eureka, CA 95501

RIA

CRD#: 226560

Eureka, CA

Past

May 20, 2021 - May 21, 2021

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

TURNERSVILLE, NJ

Past

September 20, 2019 - May 21, 2021

CETERA WEALTH SERVICES, LLC

CRD#: 13572

TURNERSVILLE, NJ

Past

May 8, 2008 - May 20, 2021

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

EUREKA, CA

Past

May 6, 2008 - September 20, 2019

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

EUREKA, CA

Past

October 25, 2007 - April 11, 2008

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

EUREKA, CA

Past

October 1, 2007 - April 11, 2008

MORGAN STANLEY & CO. LLC

CRD#: 8209

EUREKA, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

REDWOOD COAST FINANCIAL PARTNERS

CRD#: 226560 / SEC#: 801-121206

RIA

Registered Investment Advisory firm - (5/13/2021 Approved)

Arizona

Registered Investment Advisory firm - (5/20/2019 Approved)

California

Registered Investment Advisory firm - (8/5/2015 Approved)

Nevada

Registered Investment Advisory firm - (2/7/2020 Approved)

New Jersey

Registered Investment Advisory firm - (7/11/2022 Terminated)

Texas

Registered Investment Advisory firm - (2/5/2019 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Arizona
(5/20/2019)

IAR

California
(8/6/2015)

IAR

Nevada
(2/7/2020)

IAR

New Jersey
(1/19/2017)

IAR

Texas
(2/6/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/19/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 11/10/2007

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 9/29/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/18/2010

General Securities Principal Examination

Current Firm

REDWOOD COAST FINANCIAL PARTNERS

CRD#: 226560 / SEC#: 801-121206

RIA

Registered Investment Advisory firm - (5/13/2021 Approved)

Arizona

Registered Investment Advisory firm - (5/20/2019 Approved)

California

Registered Investment Advisory firm - (8/5/2015 Approved)

Nevada

Registered Investment Advisory firm - (2/7/2020 Approved)

New Jersey

Registered Investment Advisory firm - (7/11/2022 Terminated)

Texas

Registered Investment Advisory firm - (2/5/2019 Conditional Restricted)

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Contact information

Main Address

923 3rd Street, Eureka, CA 95501

Mailing Address

Phone number

(707) 444-9212

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A - REDWOOD COAST FINANCIAL PARTNERS (2/19/2025)

REDWOOD COAST FINANCIAL PARTNERS WRAP PROGRAM (2/19/2025)

Regulatory assets under management

Total Number of Accounts	901
AUM (Assets Under Management)	$ 141,601,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Nicholas W. Bertell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Wesley Bertell's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

SUMMIT FINANCIAL GROUP INC

SUMMIT BROKERAGE SERVICES, INC.

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

Primary Firm SEC Registration

REDWOOD COAST FINANCIAL PARTNERS

State Registrations and Notice Filings

Exams

Series 66

Date: 10/19/2007

SIE

Date: 10/1/2018

Series 31

Date: 11/10/2007

Series 7

Date: 9/29/2007

Series 24

Date: 11/18/2010

Current Firm

REDWOOD COAST FINANCIAL PARTNERS

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

REDWOOD COAST FINANCIAL PARTNERS

TRUST BUT VERIFY

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